Sheri Mushel

Sheri Mushel has 20 years of experience in a myriad of facets growing and operating successful businesses. Her background includes serving in numerous executive roles to include President, Chief Financial Officer, Director of Finance and Operations, Human Resources, and Sales Manager. She has extensive experience in business start-up, required initial records and bookkeeping, ongoing books and recordkeeping, personnel issues, resolving legal matters, and overall business operations. Sheri has registered over 400 RIA firms. She currently partners with approved RIA firms to set-up and maintain required books and records, review marketing media and provide training for Chief Compliance Officers and affiliated IARs. In addition, she prepares RIA firms for onsite audits and personally works with securities regulators for deficient finding's post audit.

Sheri’s educational background includes a degree in Business Administration, Industrial Relations and Economics. She is also a registered notary. Sheri currently serves as the President of RIA Registrar, LLC.

Robert H. Sipe, CRC, LUTCF

Rob Sipe started his career in the financial services industry after finishing his studies at the University of Minnesota where he majored in economics. In 1987, he became a Registered Representative with Prudential Financial. After nine years with Prudential, he entered the wholesale distribution channel as an external wholesaler where his success continued for several more years. Since that time, he has earned the top spot in the bank distribution channel where he was consistently a multi-million dollar producer. Rob’s experience, prior to joining RIA Registrar, has given him a unique awareness of all facets of the insurance and investments industry enabling him to not only understand the challenges faced by producers of today, but the value gained by becoming the advisor of tomorrow. Rob is currently pursuing his CFS designation and has matriculated to the CFP designation program.

Laura Stovall

Laura Stovall serves as Director of Registration and manages the initial steps of the RIA registration process. Laura oversees business incorporation, series U10 submittal, 65 testing, ADV/U4 filing and the preparation and assistance of the state or SEC requirements.

She boasts 20 years of experience in business management and operations.  Her career highlights include Director of Operations for Glenn Corporation and Credit Manager of Palm Brothers. Her expertise is in business set-up, back-office accounting and customer relations.

Nick Stovall

Nick Stovall CPA, MBA boasts an extensive background in accounting, finance and investments. With over 20 years of experience, he brings decades of private industry accounting, public accounting, business taxation, IRA taxation, technical taxation, tax law and tax policy knowledge to the organization. Nick also holds his series 7 and 66 as well as his life and health license. With an in-depth knowledge of the financial services industry and solid understanding of the complex demands of diverse business settings, his experience provides an invaluable perspective on the intricate relationships between tax and business issues.

During his tenure in the private industry sector, Nick served as the chief financial officer for Glenn Corporation and E Energy Adams. He has also consulted in the public sector serving individuals and businesses in the areas of financial and tax planning. Nick was an instructor with National American University, teaching upper division accounting courses and remains a mentor for aspiring accountants in the Twin Cities area.

Nick earned the Masters of Business Administration in Accounting from the University of St. Thomas and a Bachelor of Science in Finance where he graduated with distinction. In addition, he attended Carlson School of Management at the University of Minnesota for the Masters of Business Taxation.

Nick remains active in the accounting industry and is a member of the American Institute of Certified Public Accountants (AICPA), Minnesota Society of Certified Public Accountants (MnCPA) and the Institute of Management Accountants (IMA).

Walter Costenbader

Walter Costenbader has over 20 years experience in compliance and business management in the broker/dealer and investment advisor arenas. Currently, Mr. Costenbader is a Senior Compliance Consultant for small and large, international financial services firms. Prior to this, he formed and served as Chief Compliance Officer for the broker/dealer and investment advisor subsidiary of Webster Financial Services ("WBS" on the NYSE). Before joining Webster, Mr. Costenbader started a broker/dealer and investment advisor subsidiary of CIGNA Corp, and served as its Chief Operating Officer and Chief Compliance Officer. He has a BA in Education, and received CFP designation after attending Boston College. He also serves as an active NYSE Arbitrator. Walter currently conducts the monthly webinar training and serves as the Chief Compliance Consultant for RIA Registrar, LLC.

Keith Kessel

Mr. Kessel specializes in business law, including the corporate finance, private equity, venture capital, mergers & acquisitions, financial services industry laws and company law. He has been a corporate, securities and transactional lawyer and compliance professional in the financial services industry for the past 16 years. During that time, Mr. Kessel has served in various executive, legal and compliance roles for a multitude of corporations and trust companies, including investment advisers, investment companies, broker/dealers, banks, investment banks, insurance agencies, stock exchanges and securities clearing and depository institutions, as well as other financial service providers. He has spoken at legal and compliance conferences, as well as for company sponsors, regarding banking, investment management and broker/dealers activities. He has lectured in Europe, the Middle East and the United States on topics such as Cross Border Investment Advisory Compliance Matters, International Broker/Dealer Legal, Compliance and Operational Matters, International Company Restructuring, Dispute Resolution Strategies and International Banking Risk Management Program. He has published articles in business law, including articles on (i)International Broker/Dealer and Investment Banking Strategies and (ii) Essential Considerations for International, Unregistered Broker-Dealers, Investment Companies, Investment Advisers and Investment Banks. Mr. Kessel has managed and motivated teams of lawyers, compliance, operations, risk management, sales and supervisory personnel. As somebody who has managed firms himself, Mr. Kessel has practical experience in analyzing issues, providing legal and business solutions and implementing those solutions. He has worked both domestically an internationally. He retains the Financial Industry Regulatory Authority (“FINRA”) Series 4, 7, 24 & 53 registrations applicable to various financial products supervision and sales, as well as the North American Securities Administrators Association Series 65 registration for investment advisory activities. He has served as a member of the FINRA District Committee and as an FINRA Hearing Panel participant. Mr. Kessel also serves as an industry arbitrator for FINRA. He retains the designation of Investment Adviser Certified Compliance Professional. Keith has his Bachelor of Science: University of Maryland, College Park, Maryland Juris Doctor: Temple University School of Law, Philadelphia, Pennsylvania. He also attended: London School of Economics and Political Science Drexel University University of Helsinki. His practice areas include: Corporate Finance, Private Equity, Venture Capital, Mergers & Acquisitions, Financial Industry, Company Law & Arbitration. Keith currently serves as a consultant providing regulatory and legal counsel for RIA Registrar, LLC.